Scott M. Sathrum

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CRD#: 1358396

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Scott Michael Sathrum, who also goes by Scott M Sathrum, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 1985. Scott had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott M Sathrum

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 8, 2016 - July 20, 2016

NATIONWIDE SECURITIES, LLC

CRD#: 11173

LAS VEGAS, NV

Past

March 6, 2014 - June 5, 2015

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

LAS VEGAS, NV

Past

April 26, 2011 - March 6, 2012

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

LAS VEGAS, NV

Past

April 12, 2011 - March 6, 2012

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LAS VEGAS, NV

Past

June 2, 2004 - April 24, 2009

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

LAS VEGAS, NV

Past

June 1, 2004 - April 24, 2009

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

LAS VEGAS, NV

Past

May 25, 2004 - May 26, 2004

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

HENDERSON, NV

Past

June 25, 2003 - May 26, 2004

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

August 24, 2001 - June 10, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

October 28, 1998 - July 3, 2001

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

CEDAR RAPIDS, IA

Past

May 14, 1985 - March 20, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NATIONWIDE SECURITIES, LLC

NATIONWIDE ADVISORY SERVICES, INC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, LLC | NATIONWIDE SECURITIES, LLC DBA NATIONWIDE ADVISORY SERVICES, INC. | NATIONWIDE SECURITIES, LLC | NATIONWIDE SECURITIES, INC. | NATIONWIDE ADVISORY SERVICES, INC.

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/24/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/7/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/20/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/4/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NATIONWIDE SECURITIES, LLC

CRD#: 11173 / SEC#: 801-69260, 8-12500

RIA

Registered Investment Advisory firm - SEC (7/9/2008 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One Nationwide Plaza Mailing Code: 01-17-402, Columbus, OH 43215

Mailing Address

One Nationwide Plaza 1-33-401, Columbus, OH 43215

Phone number

(888) 753-7364

Established

Delaware since 10/09/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NSLLC FORM ADV PART 2A BROCHURE (7/8/2025)

Direct owners and executive officers

Name	Position	CRD#
NFS DISTRIBUTORS, INC.	MANAGING MEMBER
ANIANO, JOSEPH NICHOLAS	PRESIDENT	4303290
GINNAN, STEVEN A.	BOARD MANAGER	6984613
JESTICE, KEVIN THOMAS	BOARD MANAGER	5363377
RABENSTINE, JAMES JAY	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	2025566
ROSWELL, EWAN THEODORE	AVP, FINANCE CONTROLLERSHIP-NF AND FINOP	3056545
STEVENSON, ERIC RAY	BOARD MANAGER	5250338

Disclosures

Regulatory Event	10
Arbitration	3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Scott M. Sathrum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COUNTRY CAPITAL MANAGEMENT COMPANY

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

EDWARD JONES

SECURITIES MANAGEMENT & RESEARCH, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

NATIONWIDE SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2004

Series 63

Date: 5/7/1988

SIE

Date: 7/20/2016

Series 7

Date: 8/23/2001

Series 6

Date: 5/4/1985

Current Firm

NATIONWIDE SECURITIES, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATIONWIDE SECURITIES, LLC

TRUST BUT VERIFY

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